SWS CAPITAL MANAGEMENT, LLC

100 Wall Street
18th Floor
New York, New York 10005
Tel: 212-461-6500

About SWS CAPITAL MANAGEMENT, LLC

SWS CAPITAL MANAGEMENT, LLC, formally registered with the SEC as SWS CAPITAL MANAGEMENT, LLC. The firm was established in 09/20/2002. They have over 2 offices throughout the country.

SWS CAPITAL MANAGEMENT, LLC is a New York, New York based Financial Planning firm with nearly $498,020,898 assets under management, offering retirement planning & investment advisory services to 8 clients. The firm is staffed with 9 experienced financial planners.

Firm Information

SEC Current Status	Approved
Firm CRD#	119043
SEC#	801-61480
Assets Managed by Firm	$498,020,898
No. of Clients	8
No. of Advisors	9

Fee Structure

A percentage of AUM

Advisory Services Provided

Portfolio management for pooled investment vehicles
Portfolio management for businesses or institutional clients

Firm Client Information

	No. of Clients	AUM
Firm Total	8	$498,020,898
Corporations or other businesses	Fewer than 5 clients	$25,971,938

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